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Investor Protection

The Shenzhen securities regulatory bureau launched the investor protection "blue sky action" special project

In order to implement general secretary Jinping Xi's call for accelerated formation “investor rights and interests are fully protected in stock market” important speech spirit and  requirements for Opinions of the general office of the state council on further strengthening the legal rights and interests protection of small and medium-sized investors in the capital market.(State Office issued [2013] NO.110) the spirit of the national conference on securities and futures

Supervision in 2016, Shenzhen securities regulatory bureau recently issued a notice to the jurisdiction and will launch a special project to protect the blue sky by investors.

"Blue sky action" promotes the full protection of the legitimate rights and interests of small and medium investors,  with the target of giving investors a tangible sense of achievement.  It is going to implement proper management  of investors by operating Institutions , focus on improving the quality of information disclosure by listed companies, launch investor education by multiple channels and multiple forms , guide investors to establish rational investment philosophy, and to improve risk awareness and self-protection ability, crack down on market illegal behaviors, and to purify market space,  make regional capital market bluer.

In the execution of "blue sky action“, The Shenzhen securities regulatory bureau comprehensively promotes investor protection with the idea of multi-pronged and coordinated work by the regulatory authorities, self-regulatory organizations, and market entities. We will mainly carry out the following five tasks.

First, it is to urge management institutions to sort out appropriate sexual management, customer classification and risk assessment systems, check omissions, strengthen internal training, implement the principle of “know your customers”, and strengthen appropriate sexual management. The second is to improve investor services, disclosure Internal Information Controls and Consignment, support risk disclosure of video and audio recording “Double record” pilot projects and so on. It means to require listed companies to deepen information disclosure, encourage them to carry out the work of investor protection. It discloses investor protection when regular repts areor published. And it requires management mechanism to strengthen the risk indication of consignment products. Third, it can continue to play the role of the “four-in-one” diversified dispute settlement mechanism, urge the management mechanism to further improve the complaint handling mechanism, strictly implement the requirements of primary responsibility, deal with unresolved dispute transfer to the mediation center through mediating “through train” mechanism. Analyze and summarize complaints and  disposal situation to improve the level of complaint handling and so on. Fourthly, it can promote “rational investment” investors education activities continuously through carrying out investor education activity jointly with management institution and increasing publicity for law enforcement, and so on. Fifthly, it is to strengthen publicity, improve investor reception services and other supporting work.

Shenzhen securities regulatory bureau require each listed company , the management mechanism and self-discipline organization to understand investor protection issues from the overall situation of reform and development of capital market, the coexistence height of capital market participants, carry out all business in the investor protection concept, the requirements in investor protection, and actively involve in the "blue sky", to effectively protect the legitimate rights and interests of investors.